1、BSISO14798:2009ICS91.140.90NOCOPYINGWITHOUTBSIPERMISSIONEXCEPTASPERMITTEDBYCOPYRIGHTLAWBRITISHSTANDARDLifts(elevators),escalatorsandmovingwalksRiskassessmentandreductionmethodologyBS EN ISO 14798:2013BS EN ISO 14798:2013ISBN 978 0 580 74893 6Amendments/corrigenda issued since publicationDate Comment
2、s31 May 2013 This corrigendum renumbers BS ISO 14798:2009 as BS EN ISO 14798:2013This British Standard was published under the authority of the Standards Policy and Strategy Committee on 30 April 2009 The British Standards Institution 2013. Published by BSI Standards Limited 2013National forewordThi
3、s British Standard is the UK implementation of EN ISO 14798:2013. It is identical to ISO 14798:2009. It supersedes BS ISO 14798:2009, which is withdrawn.The UK participation in its preparation was entrusted by Technical Committee MHE/4, Lifts, hoists and escalators.A list of organizations represente
4、d on this committee can be obtained on request to its secretary.This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application.Compliance with a British Standard cannot confer immunity from legal obligations.EUROPEAN STANDAR
5、D NORME EUROPENNE EUROPISCHE NORM EN ISO 14798 January 2013 ICS 91.140.90 English Version Lifts (elevators), escalators and moving walks - Risk assessmentand reduction methodology (ISO 14798:2009) Ascenseurs, escaliers mcaniques et trottoirs roulants - Mthodologie de lapprciation et de la rduction d
6、u risque (ISO 14798:2009) Aufzge, Fahrtreppen und Fahrsteige - Verfahren zur Risikobeurteilung und -minderung (ISO 14798:2009) This European Standard was approved by CEN on 24 November 2012. CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for
7、giving this European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN member. This European Standard exists in three
8、official versions (English, French, German). A version in any other language made by translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC Management Centre has the same status as the official versions. CEN members are the national standards bodie
9、s of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spa
10、in, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG Management Centre: Avenue Marnix 17, B-1000 Brussels 2013 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN na
11、tional Members. Ref. No. EN ISO 14798:2013: EBS EN ISO 14798:2013EN ISO 14798:2013(E)EN ISO 14798:2013 (E) 3 Foreword The text of ISO 14798:2009 has been prepared by Technical Committee ISO/TC 178 “Lifts, escalators and moving walks” of the International Organization for Standardization (ISO) and ha
12、s been taken over as EN ISO 14798:2013 by Technical Committee CEN/TC 10 “Lifts, escalators and moving walks” the secretariat of which is held by AFNOR. This European Standard shall be given the status of a national standard, either by publication of an identical text or by endorsement, at the latest
13、 by July 2013, and conflicting national standards shall be withdrawn at the latest by July 2013. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and/or CENELEC shall not be held responsible for identifying any or all such pate
14、nt rights. According to the CEN/CENELEC Internal Regulations, the national standards organisations of the following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia,
15、France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. Endorsement notice The text of ISO 14798:2009 has been approved by CEN as a
16、EN ISO 14798:2013 without any modification. BS ISO 14798:2009ISO 14798:2009(E) ISO 2009 All rights reserved iiiContents PageForeword ivIntroduction.v1Scope12Terms and definitions.13General principles.33.1 Concept of safety 33.2 Concept of risk assessment.34Risk analysis procedure.54.1 Step 1 Determi
17、nation of the reason for conducting a risk assessment54.2 Step 2 Formation of a risk assessment team 54.3 Step 3 Determination of the subject of risk assessment and related factors 64.4 Step 4 Identification of scenarios: hazardous situations, causes and effects.84.5 Step 5 Ris k estimation95Step 6
18、Ris k evaluation156Step 7 Ha s the risk beensufficiently mitigated?.157Step 8 Reduc tion of risk Protective measures168Documentation 17Annex A (normative) Risk assessment template.18Annex B (informative) Quick references to hazards(Table B.1), hazardous situations (Table B.2), causes (Table B.3), ef
19、fects (Table B.4) and harm (Table B.5).20Annex C (normative) Estimation of risk elements Severity (Table C.1) and probability(Table C.2)25Annex D (normative) Risk estimation and evaluation.26Annex E (informative) Role of the team moderator.28Annex F (informative) Examples of a risk assessment and pr
20、otective measures.32Bibliography38BS EN ISO 14798:2013ISO 14798:2009(E)BS ISO 14798:2009ISO 14798:2009(E)iv ISO 2009 All rights reservedForeword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing
21、International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has beenestablished has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison
22、 with ISO, also take part in the work. ISO collaborates closelywith the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.The main task of techni
23、cal committees is to prepare International Standards. Draft International Standardsadopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. Attention is drawn t
24、o the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO 14798 was prepared by Technical Committee ISO/TC 178, Lifts, escalators and moving walks. This first edition of ISO 1
25、4798 cancels and replaces ISO/TS 14798:2006, which has been technically revised.BS EN ISO 14798:2013ISO 14798:2009(E)BS ISO 14798:2009ISO 14798:2009(E) ISO 2009 All rights reserved vIntroduction The objective of this International Standard is to describe principles and set procedures for a consisten
26、t andsystematic risk assessment methodology relevant to lifts (elevators), escalators, moving walks (“lifts”, forshort). The risk analysis and assessment principles and process described in this International Standard may, however,be used for assessment of risk relevant to equipment other than lifts
27、. This risk assessment methodology is a tool used to identify risk of harmresulting from various hazards,hazardous situations and harmful events. Knowledge and experience of the design, use, installation,maintenance, incidents, accidents and related harm are brought together in order to assess the r
28、isk during all phases of the life of lifts1)(elevators), escalators and movingwalks (hereafter referred to as “lifts”), fromdesign and constructionup to decommissioning. The users of the methodologydo not makemedical judgements but, rather, evaluate events that can possiblylead to levels of harm def
29、ined in this International Standard. Byitself, this International Standard does not provide a presumption of conformity to any safetyrequirements for lifts, including those noted in Clause 1.NOTE Risk assessment is not an exact science, as there is a certain degree of subjectivity in the process.It
30、is recommended that this International Standard be incorporated into training courses and manuals so as toprovide basic instructions on safety aspects to those involved in a) assessing designs, operations, testing and use of lift equipment, and b) writing of specifications or standards incorporating
31、 safety requirements for lifts. This International Standard describes a qualitative methodology for risk assessment that relies very much onthe judgement and deliberations of the members of the risk assessment team who carry out the assessment. To ensure the most realistic and consistent assessment,
32、 it is essential that the methodologybe followed faithfully. Aids such as numeric methods of assessment that follow the format described in this International Standard are not precluded from use. It should, however, be recognized that numeric aids to qualitative methods may still retain some of the
33、subjectivityinherent in the qualitative process.Clause3 describes the concepts of safety and risk assessment. Clause4 describes the procedure of riskanalysis, including risk estimation. The procedure for risk evaluation is set out in Clause 5 and assessment in Clause 6. Clause 7 deals with protectiv
34、e measures. Clause 8 specifies relevant documentation. 1) Hereafter in this International Standard, the term “lift” is used instead of the term “elevator”. In addition, the term “lift” isalso used instead of the terms “lifts, escalators and moving walks”. BS EN ISO 14798:2013ISO 14798:2009(E)BS ISO
35、14798:2009BS EN ISO 14798:2013ISO 14798:2009(E)BS ISO 14798:2009INTERNATIONAL STANDARD ISO 14798:2009(E) ISO 2009 All rights reserved 1Lifts (elevators), escalators and moving walks Risk assessment and reduction methodology1 Scope This International Standard establishes general principles and specif
36、ic procedures for assessing risk. The purpose of this International Standard is to provide a process formaking decisions relevant to the safetyof lifts during the a) design, construction, installation and servicing of lifts, lift components and systems, b) development of generic procedures for the u
37、se, operation, testing, complianceverification and servicingof lifts, and c) development of technical specifications and standards affecting the safety of lifts.While examples in this International Standard refer primarily to risks of harm to persons, the risk assessmentprocedure set out in this Int
38、ernational Standard can be equallyeffective for assessing other types of riskrelevant to lifts, such as the risk of damage to property and environment. 2 Terms and definitions For the purposes of this document, the following terms and definitions apply.2.1 cause circumstance, condition, event or act
39、ion that in a hazardous situation contributes to the production of an effect 2.2 effectresult of a cause in the presence of a hazardous situation 2.3 harmphysical injuryor damage to the health of people, or damage to property or the environment ISO/IEC Guide 51:1999, 3.3 2.4 harmful eventoccurrence
40、in which a hazardous situation results in harmISO/IEC Guide 51:1999, 3.4 NOTE In this International Standard, the term “harmful event” is interpreted as a combination of cause and effect. BS EN ISO 14798:2013BS ISO 14798:2009ISO 14798:2009(E)2 ISO 2009 All rights reserved2.5 hazardpotential source o
41、f harmNOTE The term “hazard” can be qualified in order to define its origin or the nature of the expected harm (e.g. electricshock hazard, crushing hazard, cutting hazard, toxic hazard, fire hazard, drowning hazard). ISO/IEC Guide 51:1999, 3.5 2.6 hazardous situation circumstance in which people, pr
42、operty or the environment are exposed to one or more hazardsISO/IEC Guide 51:1999, 3.6 2.7 life cycle period of usage of a component or a lift system2.8 protective measure means used to reduce riskNOTE Protective measures include risk reduction by inherently safe design, protective devices, personal
43、 protectiveequipment, information for use and installation and training ISO/IEC Guide 51:1999, 3.8 2.9 residual risk risk remaining after protective measures have been taken ISO/IEC Guide 51:1999, 3.9 2.10 risk combination of the probability of occurrence of harm and the severity of that harmISO/IEC
44、 Guide 51:1999, 3.2 2.11 risk analysis systematic use of available information to identifyhazards and to estimate the riskISO/IEC Guide 51:1999, 3.10 2.12 risk assessmentoverall process comprising a risk analysis and a risk evaluation ISO/IEC Guide 51:1999, 3.12 2.13 risk evaluationconsideration of
45、the risk analysis results to determine if the risk reduction is required 2.14scenariosequence of a hazardous situation, cause and effect2.15 severitylevel of potential harmBS EN ISO 14798:2013ISO 14798:2009(E)BS ISO 14798:2009ISO 14798:2009(E) ISO 2009 All rights reserved 33 General principles3.1Con
46、cept of safetySafety, within this International Standard, is considered as freedom from unacceptable risk. There can be noabsolute safety. Some risks, defined in this International Standard as residual risk, can remain. Therefore, a product or process (e.g. operation, use, inspection, testing, or se
47、rvicing) can beonly relatively safe. Safety is achieved by sufficient mitigation or reduction of the risk.Safetyis achieved by the search for an optimal balance between the ideal of absolute safety, the demand to be met by a product or process, and factors such as benefit to the user, suitability fo
48、rpurpose, costeffectiveness and conventions of the society concerned. Consequently, there is a need to review continually the established safety levels, in particularwhen experience necessitates review of the pre-set safety levelsand when developments, both in technology and knowledge, can leadto fe
49、asibleimprovements to attainsufficient mitigation of the risk compatible with the use of a product, process, or service. 3.2Concept of risk assessment3.2.1 Safetyis achieved bythe iterative process of risk assessment (risk analysis and risk evaluation) andrisk reduction (see Figure 1).3.2.2 Risk assessment is a series of logical steps that enables, in a systematic way, the examination ofhazards associated with lifts. Risk assessment is followed, whenever necessary,bythe risk reduction process,as described in Clause 7
